A career within Risk & Compliance Solutions provides the opportunity to help companies rethink their approach to compliance and risk, creating a sustainable risk advantage. You will assist clients in developing robust internal controls, leveraging analytics and technology, optimizing risk and compliance policies, and improving business performance.
Our Asset and Wealth Management team in Risk & Compliance Solutions is expanding rapidly, and you will be part of Singapore's leading advisory team, supporting a dynamic and fast-paced environment.
Key Responsibilities:
- Provide regulatory advice to clients in fund management, private wealth management, digital advisory, digital assets, and capital markets intermediaries (e.g., REIT managers, brokerages, corporate finance advisors, trust companies).
- Advise on areas including licensing and registration, regulatory reporting, sales and product compliance, AML/CFT, business conduct, outsourcing, culture and conduct, and technology risk.
- Manage a team of specialists providing outsourced compliance support, including regulatory reporting, operationalising regulatory changes, compliance monitoring, AML/KYC reviews, and regulatory advice.
- Help clients develop, implement, and strengthen enterprise risk management and compliance frameworks.
- Conduct business processes and controls reviews, including internal audits and control assurance reporting, identify gaps, assess risks, and provide remediation recommendations.
- Conduct thematic compliance reviews and internal audits to enhance processes and controls in line with regulatory requirements and industry best practices.
- Collaborate with strategic alliance partners to formulate new services or products, including regulatory technology and platforms.
- Support business development initiatives, including new client opportunities, service offerings, and proposal formulation.
- Manage key stakeholder relationships, communicating the scope of work, findings, recommendations, and industry updates.
Qualifications & Experience:
- Minimum 6 years of financial services regulatory, legal, or external audit experience in a Big 4 audit firm, regulator, or financial institution. Previous employment with a regulator is highly preferred.
- Strong understanding of asset and wealth management, digital assets, and capital markets landscape.
- Solid experience auditing and advising on local MAS regulatory requirements for capital markets intermediaries, including Securities and Futures Act, Financial Advisers Act, Banking Act, Payments Services Act, and AML/CFT obligations.
- Beneficial experience:
- Working with MAS on licensing for capital markets intermediaries and approved exchanges.
- Auditing and advising on front-office conduct and sales practices.
- Advising on technology-related regulatory requirements, including Technology Risk Management, Cyber Hygiene, and Business Continuity Management.
Attributes & Skills:
- Professional, confident, and highly motivated self-starter with the ability to manage multiple engagements in a fast-paced environment with tight deadlines.
- Strong team management skills and ability to lead people effectively.
- Meticulous, detail-oriented, analytical, and enquiring mindset.
- Strong values, personal integrity, and emotional intelligence.
- Positive attitude towards learning and continuous improvement.
